Commissioner Bowen shares her six guiding principles, including that "we have to be focused on how we can identify the next potential crisis while still ...
Chair Massad makes the point that the CFTC has acted on swaps regulations before many other regulators and that "you can’t make substituted compliance determinations ...
Consistent with CFTC Staff Letter 12-37, the Division of Swap Dealer and Intermediary Oversight provided no-action relief from commodity trading advisor registration to family offices ...
His remarks concerns a proposed amendment to Regulation 1.22 (how FCMs handle fund deposits) and Regulation 1.35 (making clear that CTAs do not have to ...
Commissioner Bowen discusses a proposed interpretation on embedded volumetric optionality. "I think the trade option exemption provides a much clearer and cleaner approach to address ...
Commissioner Wetjen takes issue with the seventh factor’s ambiguity for volumetric optionality.
I commend the Commission for today’s action. I am also satisfied that concerns of my staff were addressed so that any change to this deadline ...
The Division of Swap Dealer and Intermediary Oversight issued a no action position from compliance with certain requirements of Regulation 1.57(a)(1), such that a guaranteed ...
No-action relief for Victoria University of Wellington, New Zealand, to operate a not-for-profit market for event contracts, and to offer event contracts to U.S. persons.
This fraudster got in trouble, in part, for failing to register as a CTA.